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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-10-03 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chino | CA | 10/2009 | Present |
| Bank Of America, N.A. | Brea | CA | 04/2011 | Present |
I*43059FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ST PAUL THE APOSTLE CATHOLIC CHURCHINVESTMENT RELATED: NADDRESS OF BUSINESS: 14085 PEYTON DRIVE, CHINO HILLS, CALIFORNIA 91709NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 40730NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: REVIEW WITH COMMITTEE MEMBERS MONTHLY THE INCOME AND EXPENSE STATEMENT FOR THE CHURCH I*3781294, Entity Type: Entity For Profit, Name of OBA: Sandy Gage Trustee of the Gage Family Trust 12/26/24, Address: Huntington Beach, California, 92649, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 03/07/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: just as a landlord collecting a monthly rent from renter, I have a second home in Huntington Beach CA that I will now be renting out.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-26 |
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